Qureos Mentor

Permanent Solution

Opportunity to work with a leading stock broking firm in Mumbai, Andheri East.Experience Required:&#9679; 5+ years of experience as a Compliance Officer in a stock broking firm or financial services company. (Mandatory to have experience in Stock Broking business)&#9679; Proven track record of managing regulatory compliance and dealing with SEBI inspections.&#9679; Hands-on experience in developing compliance frameworks and policies.Key Responsibilities:1. Regulatory Compliance:&#9679; Ensure full compliance with SEBI regulations, stock exchange rules, and other applicable laws governing the stock broking business.&#9679; Regularly monitor and review changes in SEBI guidelines and circulars, and implement necessary updates in processes and policies.2. Internal Audits and Inspections:&#9679; Conduct periodic compliance audits of all business processes, systems, and client dealings.&#9679; Prepare for SEBI, stock exchange, and internal/external audits by ensuring documentation and processes are audit-ready.&#9679; Address audit findings and ensure timely resolution of compliance gaps.3. Reporting and Filings:&#9679; Prepare and submit regulatory filings, including returns, disclosures, and reports, to SEBI, exchanges (NSE/BSE), and other regulatory bodies.&#9679; Ensure accuracy and timeliness in reporting requirements, including quarterly compliance reports and investor grievance redressal data.4. Policy Development and Implementation:&#9679; Develop, review, and update compliance policies, manuals, and operating procedures in line with SEBI regulations.&#9679; Implement and oversee anti-money laundering (AML) policies, KYC norms, and risk management systems.5. Grievance Redressal:&#9679; Act as the point of contact for client complaints and ensure timely resolution as per regulatory guidelines.&#9679; Maintain records of complaints and oversee effective communication with clients and regulators during the resolution process.6. Training and Awareness:&#9679; Conduct training sessions for employees on SEBI laws, insider trading regulations, and compliance best practices.&#9679; Build awareness about regulatory changes and compliance expectations across departments.7. Surveillance and Monitoring:&#9679; Monitor employee trades, brokerage activities, and potential conflicts of interest to ensure ethical conduct.&#9679; Use surveillance tools to identify unusual trading patterns and ensure compliance with insider trading regulations.8. Coordination with Regulators:&#9679; Liaise with SEBI, NSE, BSE, and other regulatory bodies for inspections, clarifications, and regulatory updates.&#9679; Respond promptly to regulatory inquiries and notices while maintaining a professional rapport with regulators.Key Skills &amp; Competencies:&#9679; Technical Knowledge:&#9675; Strong understanding of SEBI laws, insider trading regulations, AML guidelines, and stock exchange rules.&#9675; Familiarity with KYC norms, investor protection frameworks, and compliance management tools.&#9675; Experience in handling SEBI inspections and regulatory audits.&#9679; Soft Skills:&#9675; Strong analytical and problem-solving skills.&#9675; Excellent communication and interpersonal skills to interact with regulators, clients, and internal teams.&#9675; High attention to detail and ability to work under strict deadlines.Educational Qualifications:&#9679;Essential: Bachelor&rsquo;s degree in Commerce, Law, Finance, or related fields.&#9679;Preferred: MBA (Finance), CA, or LLB with certifications in compliance or SEBI regulations.Job Type: Full-timePay: &#8377;1,000,000.00 - &#8377;1,200,000.00 per yearApplication Question(s):<ul><li>Do you have experience in managing regulatory compliance and dealing with SEBI inspections?</li></ul>Experience:<ul><li>Compliance of Stock Broking Business: 4 years (Required)</li></ul>Work Location: In person

Compliance Officer

Join Permanent Solution and explore 1   exciting career opportunities. They're hiring for various roles with options for remote or on-site work. Apply today and become part of their innovative team.

Permanent Solution

ABOUT_COMPANY

Compliance Officer